Securities and Exchange Commission

Source Id

383

The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565

02/24/2021

2021

565

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565

Read more about The SEC Has Taken Steps to Strengthen Its Monitoring of ISS Contractor’s Performance, But Additional Actions Are Needed, Report No. 565

The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566

02/24/2021

2021

566

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566

Read more about The SEC Can Further Strengthen the Tips, Complaints, and Referrals Program, Report No. 566

SEC OIG 2020 FEVS Announcement

02/17/2021

2021

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about SEC OIG 2020 FEVS Announcement

Inspector General's FY2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

01/26/2021

2021

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Inspector General's FY2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

Read more about Inspector General's FY2020 Letter to OMB on SEC's Implementation of Purchase Card Program Audit Recommendations

OASB Complied With Statutory Requirements But Can Improve As It Matures

08/30/2022

2022

573

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about OASB Complied With Statutory Requirements But Can Improve As It Matures

Evaluation of the EDGAR System’s Governance and Incident Handling Processes

09/21/2018

2018

550

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Evaluation of the EDGAR System’s Governance and Incident Handling Processes

Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017

03/30/2018

2018

546

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about Audit of the SEC’s Compliance With the Federal Information Security Modernization Act for Fiscal Year 2017

The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564

01/13/2021

2021

564

Audit

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about The SEC's OIEA Could Benefit From Increased Coordination, Additional Performance Metrics, and Formal Strategic Planning, Report No. 564

Fiscal Year 2020 Independent Evaluation of SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563

12/21/2020

2021

563

Inspection / Evaluation

Securities and Exchange Commission OIG

Securities and Exchange Commission

Fiscal Year 2020 Independent Evaluation of SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563

Read more about Fiscal Year 2020 Independent Evaluation of SEC's Implementation of the Federal Information Security Modernization Act of 2014, Report No. 563

DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme

12/02/2020

2021

Other

Securities and Exchange Commission OIG

Securities and Exchange Commission

Read more about DOJ Press Release: Licensed Attorney And Disbarred Attorney Charged With Securities Fraud For Roles In Fraudulent Opinion Letter Scheme

Subscribe to Securities and Exchange Commission